Podcast Episodes
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Data Breaches: Compliance Responsibilities Before and After
This episode details the legal and practical compliance responsibilities for organisations regarding data breaches. Before a breach, it highlights the importance of proactive measures such as robust …
Published on 1 year ago
Managing Conflicts of Interest in Financial Services
The episode explores common conflicts of interest within the financial services industry, providing real-world examples such as investment advisors receiving commissions and bankers approving loans f…
Published on 1 year ago
Creating an Effective Whistleblower Hotline
Welcome to The New Compliance Officers Playbook, a podcast that provides a comprehensive guide to establishing an effective whistleblower hotline. It stresses the importance of multiple reporting cha…
Published on 1 year ago
Investigating Misconduct: A Step-by-Step Guide
This podcast episode provides a step-by-step guide for compliance officers on investigating workplace misconduct. Eight key steps are outlined, beginning with preparation and scoping the investigatio…
Published on 1 year ago
Compliance and Change Management
This podcast episode discusses the crucial role of compliance in successful change management. It highlights the importance of proactive compliance involvement in mitigating risks associated with org…
Published on 1 year ago
Crisis Management for Compliance Officers
This podcast episode from "The New Compliance Officer’s Playbook" focuses on crisis management for compliance officers. It highlights the crucial role compliance officers play in navigating crises, i…
Published on 1 year ago
Insider Threats: What Compliance Officers Should Know
This podcast episode outlines insider threats, their impact on organisations, and the crucial role compliance officers play in mitigating them. The plan details segments covering insider threat defin…
Published on 1 year ago
CSSF AML/CFT Asset Due Diligence FAQ
This FAQ document, published by the Luxembourg CSSF (Commission de Surveillance du Secteur Financier) on 13 December 2024, clarifies AML/CFT (Anti-Money Laundering/Combating the Financing of Terroris…
Published on 1 year ago
Responding to Regulatory Inquiries with Confidence
This podcast episode, "Responding to Regulatory Inquiries with Confidence," guides compliance officers on effectively handling regulatory inquiries. The episode outlines a strategic approach, includi…
Published on 1 year ago
Klarna's $46M Anti-Money Laundering Fine
Klarna Bank, a Swedish financial services company, received a $46 million fine from Sweden’s Financial Supervisory Authority for violations of anti-money laundering regulations. The violations, ident…
Published on 1 year ago